FINRA Defense & Arbitration

<h2>FINRA Proceedings</h2><p>The Financial Industry Regulatory Authority (FINRA) is the primary self-regulatory organization for broker-dealers in the United States. FINRA conducts enforcement actions against member firms and associated persons, and administers the largest securities arbitration forum in the country.</p><h2>Types of FINRA Proceedings</h2><ul><li><strong>Enforcement actions:</strong> Disciplinary proceedings for violations of FINRA rules and securities laws</li><li><strong>Customer arbitration:</strong> Mandatory arbitration of customer disputes with broker-dealers</li><li><strong>Industry arbitration:</strong> Disputes between FINRA members or associated persons</li><li><strong>Regulatory examinations:</strong> Routine and cause examinations of member firms</li></ul>